Tara E. Miller

Some features on this profile are disabled

CRD#: 2824504

Professional summary

Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.

That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.

Tara Egan Miller, who also goes by Tara Egan, Tara Miller, Tara E Miller, was a registered financial professional .

Tara is a previously registered financial professional and started their career in finance in 1997. Tara had worked at 8 firms and has passed the Series 66, Series 63, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Tara Egan | Tara Miller | Tara E Miller

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

None

Experience

Past

March 3, 2020 - September 12, 2022

SHELTER ROCK MANAGEMENT, LLC

RIA

CRD#: 142739

JERICHO, NY

Past

August 20, 2018 - February 11, 2020

OPPENHEIMER & CO. INC.

RIA

CRD#: 249

NEW YORK, NY

Past

August 20, 2018 - February 11, 2020

OPPENHEIMER & CO. INC.

CRD#: 249

NEW YORK, NY

Past

September 13, 2017 - July 23, 2018

EQUITABLE ADVISORS, LLC

RIA

CRD#: 6627

WOODBURY, NY

Past

June 22, 2017 - July 23, 2018

EQUITABLE ADVISORS, LLC

CRD#: 6627

WOODBURY, NY

Past

June 23, 2004 - January 10, 2012

COWEN AND COMPANY

CRD#: 7616

NEW YORK, NY

Past

October 6, 2002 - April 30, 2004

UBS SECURITIES LLC

CRD#: 7654

NEW YORK, NY

Past

November 29, 1997 - September 1, 1998

SALOMON BROTHERS INC.

CRD#: 740

NEW YORK, NY

Past

September 18, 1997 - May 15, 2001

CITIGROUP GLOBAL MARKETS INC.

CRD#: 7059

NEW YORK, NY

Past

May 7, 1997 - August 6, 1997

M. J. WHITMAN, INC.

CRD#: 27870

NEW YORK, NY

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

SHELTER ROCK MANAGEMENT, LLC

43C ADVISORY, LLC | SHELTER ROCK MANAGEMENT, LLC

CRD#: 142739 / SEC#: 801-77651

RIA

Registered Investment Advisory firm - (2/19/2013 Approved)

California

Registered Investment Advisory firm - (3/29/2013 Terminated)

Massachusetts

Registered Investment Advisory firm - (11/29/2010 Terminated)

Missouri

Registered Investment Advisory firm - (2/27/2013 Terminated)

New York

Registered Investment Advisory firm - (2/27/2013 Terminated)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

IAR

Series 66

Date: 8/25/2017

Uniform Combined State Law Examination

State Security Law Exam

Series 63

Date: 11/20/1997

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 6/22/2017

General Securities Representative Examination

Current Firm

SHELTER ROCK MANAGEMENT, LLC

43C ADVISORY, LLC | SHELTER ROCK MANAGEMENT, LLC

CRD#: 142739 / SEC#: 801-77651

RIA

Registered Investment Advisory firm - (2/19/2013 Approved)

California

Registered Investment Advisory firm - (3/29/2013 Terminated)

Massachusetts

Registered Investment Advisory firm - (11/29/2010 Terminated)

Missouri

Registered Investment Advisory firm - (2/27/2013 Terminated)

New York

Registered Investment Advisory firm - (2/27/2013 Terminated)

Upgrade to AdvisorCheck Premium

Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.

Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.

See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

Contact information

Main Address

375 North Broadway Suite 207, Jericho, NY 11753

Mailing Address

Phone number

(516) 605-2215

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (3 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

SHELTER ROCK MANAGEMENT, LLC ADV PART 2A BROCHURE (7/17/2025)

Regulatory assets under management

Total Number of Accounts	278
AUM (Assets Under Management)	$ 206,212,472

Red Flags

Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.

Check for any disclosures as part of your thorough research when choosing an advisor.

Similar Advisors

Stephen Zahka

EDWARD JONES

IAR

Marlborough, MA

Frank Moore

UBS FINANCIAL SERVICES INC.

IAR

Greenwich, CT

Marshall Rosen

OSAIC WEALTH, INC.

IAR

Fort Lauderdale, FL

We're Here To Help

Advisor Monitoring

Firm Stability Insights

Tara E. Miller

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

OPPENHEIMER & CO. INC.

OPPENHEIMER & CO. INC.

EQUITABLE ADVISORS, LLC

EQUITABLE ADVISORS, LLC

COWEN AND COMPANY

UBS SECURITIES LLC

SALOMON BROTHERS INC.

CITIGROUP GLOBAL MARKETS INC.

M. J. WHITMAN, INC.

Primary Firm SEC Registration

SHELTER ROCK MANAGEMENT, LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 8/25/2017

Series 63

Date: 11/20/1997

SIE

Date: 10/1/2018

Series 7

Date: 6/22/2017

Current Firm

SHELTER ROCK MANAGEMENT, LLC

Contact information

SEC notice filing (3 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

SHELTER ROCK MANAGEMENT, LLC

TRUST BUT VERIFY

Similar Advisors